Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against securities broker Glenn King and brokerage firm Buckman, Buckman & Reid, Inc. for unsuitable recommendations, excessive trading (a/k/a churning) and failure to supervise. In August 2016, Glenn King was barred from association with any FINRA member. The sanction was based on findings that Glenn […]

Securities law firm Carmel, Milazzo & DiChiara LLP (CMD) is investigating claims against Arthur Espinoza and Freedom Investors Corp. for fraud and failure to supervise. In August 2016, Arhtur Espinoza was barred from association with any FINRA member in any capacity. The findings stated that Arthur Espinoza incorporated a company that he operated and obtained investors […]

Securities law firm Carmel, Milazzo & DiChiara LLP (“CMD”) is investigating claims against brokerage firm Lawson Financial Corporation (CRD# 15261) for securities fraud. In May 2016, FINRA filed a complaint against Lawson Financial Corporation and its CEO Robert Lawson, alleging that they carried out a massive securities fraud in connection with the sale of millions of […]